US Capital Global Securities LLC (USCGS) is registered with the U.S. Securities and Exchange Commission (SEC) as a broker-dealer, and is a member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC). Brokerage and investment advisory services and fees differ and it is important for you to understand these differences. Free and simple tools are available to research firms and financial professionals at www.investor.gov/crs, which also provides educational materials about broker-dealers, investment advisers, and investing.
Additional information regarding USCGS and its representatives can be obtained at www.brokercheck.finra.org.
USCGS offers brokerage services to institutional and retail investors, including buying and selling securities. USCGS’ services are currently limited to: (i) the purchase and sale of private securities, including limited partnership interests in securities which have not been registered with the SEC; and (ii) the provision of consulting and due diligence services to entities looking to either merge with, or acquire, another entity. USCGS recommends private placement securities which are created and managed by an affiliated entity. USCGS recommends the purchase of private securities to accredited investors (as that term is defined by the SEC), for which USCGS determines such investments are suitable. USCGS does not provide any investment monitoring services to investors.
For additional information, please see the Regulation Best Interest Disclosures and offering documents related to the private securities investments USCGS or its representatives recommend.
Any fees charged are conspicuously disclosed in the offering documents related to the private securities investments USCGS or its representatives recommend. Such fees (Commissions) are transaction-based, disclosed as a percentage of the total amount of funds invested, and can be as high as 10% of the funds invested.
Commissions are charged, whether money is made or lost on the investment. Fees will reduce any amount of money made on the investment over time. Investor should make sure they understand what fees and costs they are paying.
For additional information, please see the Regulation Best Interest Disclosures and offering documents related to the private securities investments USCGS or its representatives recommend.
USCGS is registered with the SEC, and a member of FINRA. As such, USCGS is obligated to obey the various rules and regulations promulgated by these, and other applicable regulatory organizations, such as the states in which USCGS is registered. One of these requirements is addressed in the SEC’s Regulation Best Interest, which requires registrants, such as USCGS, to act in the best interest of its clients and prospective clients, and not put its interests ahead of theirs.
Information regarding the rules and regulations applicable to USCGS’ securities related activities can be obtained at www.investor.gov/crs and www.finra.org.
While USCGS have to act in the best interest of its clients and prospective clients, and not put its interest ahead of theirs when providing them with a recommendation, the manner in which USCGS makes money creates some conflicts with the interests of its clients and prospective clients. These conflicts affect the recommendations USCGS provides. Some examples of these conflicts, which USCGS has also disclosed in other sections of this document, include, but are not limited to:
For additional information, please see the Regulation Best Interest Disclosures and offering documents related to the private securities investments USCGS or its representatives recommend.
Representatives of USCGS do receive a percentage of the Commission generated when making a recommendation to an investor if an investment is made. The percentage varies and is negotiated between USCGS and each representative. The amount paid to the representative comes from the total Commission received by USCGS and is not in addition to the amount disclosed in the offering documents of the investment.
Representatives of USCGS may also receive other compensation for services they provide to USCGS and its affiliates. This includes the receipt of variable fees for services provided on behalf of affiliated registered investment advisers and the licensed finance lender, as well as fixed compensation related to services such as performing due diligence reviews of the issuer, negotiating and creating the offering documents, and other administrative activities. Any such compensation is separate and apart from any Commissions, and is paid directly by USCGS or its affiliates.
Certain representatives of USCGS have legal and/or disciplinary histories. USCGS has thoroughly reviewed all such matters and is confident that they do not affect its representatives’ ability to provide fair and reasonable service to prospective investors.
Information regarding the legal or disciplinary history for USCGS or any of its representatives can be obtained at www.investor.gov/crs and www.brokercheck.finra.org.
If you would like additional, up-to-date information or a copy of this disclosure, please call 415.889.1010.
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